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Michael E. Maffia

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CRD#: 2977127
MM

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Michael Eugene Maffia, who also goes by Michael E Maffia, Michael Maffia, Mike Maffia, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1998. Michael had worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael E Maffia | Michael Maffia | Mike Maffia

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 5, 2017 - January 4, 2018

ALT FUND DISTRIBUTORS LLC

BD
CRD#: 146547
NEW YORK, NY
Past

September 8, 2016 - January 13, 2017

ELYSIAN CAPITAL

RIA
CRD#: 173354
RANCHO SANTA MARGARITA, CA
Past

March 15, 2016 - September 1, 2016

NEWPORT COAST SECURITIES, INC.

BD
CRD#: 16944
NEW YORK, NY
Past

June 16, 2015 - November 18, 2015

CAPITAL INVESTMENT GROUP, INC.

BD
CRD#: 14752
COTO DE CAZA, CA
Past

February 21, 2014 - August 29, 2014

VERTICAL CAPITAL ASSET MANAGEMENT, LLC

RIA
CRD#: 158382
IRVINE, CA
Past

February 21, 2014 - August 29, 2014

VERTICAL CAPITAL SECURITIES, LLC

BD
CRD#: 154697
IRVINE, CA
Past

August 23, 2010 - February 3, 2014

TRANSAMERICA CAPITAL, LLC

BD
CRD#: 8217
DENVER, CO
Past

July 16, 2009 - August 10, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
NEWPORT BEACH, CA
Past

July 16, 2009 - August 10, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEWPORT BEACH, CA
Past

June 12, 2008 - March 23, 2009

MANULIFE INVESTMENT MANAGEMENT (US) LLC

RIA
CRD#: 106435
BOSTON, MA
Past

June 12, 2008 - March 23, 2009

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

RIA
CRD#: 105790
BOSTON, MA
Past

June 9, 2008 - March 23, 2009

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

BD
CRD#: 28262
BOSTON, MA
Past

March 18, 2008 - June 11, 2008

VOYA INVESTMENT MANAGEMENT CO. LLC

RIA
CRD#: 106494
NEW YORK, NY
Past

March 18, 2008 - June 11, 2008

VOYA INVESTMENTS DISTRIBUTOR, LLC

BD
CRD#: 37886
WINDSOR, CT
Past

January 9, 2004 - June 2, 2006

NATIXIS ADVISORS, LLC

RIA
CRD#: 106800
BOSTON, MA
Past

October 15, 2003 - June 2, 2006

NATIXIS DISTRIBUTION, LLC

BD
CRD#: 34754
BOSTON, MA
Past

June 11, 2001 - October 13, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
TUCSON, AZ
Past

August 24, 1999 - October 13, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

January 6, 1998 - April 24, 2000

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 1/16/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/16/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/4/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 1/23/1998
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 1/5/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 10/23/2001
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 10/23/2001
General Securities Sales Supervisor - Options Module Examination

Current Firm

AF
ALT FUND DISTRIBUTORS LLC
ALT FUND DISTRIBUTORS LLC | CATALYST MUTUALS FUND DISTRIBUTORS LLC | CAPITAL REAL ESTATE SECURITIES, LLC | ASCENT REAL ESTATE SECURITIES, LLC | ASCENT REAL ESTATE SECURITIES LLC

CRD#: 146547 / SEC#: , 8-67829

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
140 East 45th Street Suite 15 B, New York, NY 10017
Mailing Address
140 East 45th Street Suite 15 B, New York, NY 10017
Phone number
(646) 757-8062
Established
Colorado since 12/18/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MFUND DISTRIBUTORS LLCOWNER
MEEHAN, KEVIN PATRICKCCO, FINOP4652695
MILDER, LARRY IRWINCEO1306646

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

ALT FUND DISTRIBUTORS LLC

CRD#: 146547

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